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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Worzel Ken C/O NORDSTROM, INC. 1617 SIXTH AVENUE SEATTLE, WA 98101 |
Executive Vice President |
Paula McGee, Attorney-in-Fact for Ken Worzel | 03/01/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Settlement of Performance Rights which were awarded by the Board's Compensation Committee on 2/24/10 pursuant to the Nordstrom, Inc. 2004 Equity Incentive Plan. The Performance Rights vested on 2/27/13, based upon the Compensation Committee's determination that the applicable performance criteria had been met as of 2/2/13. 2,589.75 shares vested of which 108 shares were withheld for taxes. The reporting party elected to defer the balance of 2,481.75 shares to the Executive Deferred Compensation Plan. |
(2) | Includes 537 shares acquired on March 31, 2012 and 101 shares acquired on September 30, 2012 under the Employee Stock Purchase Plan. |
(3) | Exercise of tax withholding right upon settlement of Performance Shares. The tax withholding right was previously approved by the Board's Compensation Committee at the time of the Performance Share grant. |